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We developed explicit process criteria and scales for Medicare patients hospital- Developing Process Criteria
ized with congestive heart failure, myocardial infarction, pneumonia, cerebro- We used literature review and con¬
vascular accident, and hip fracture. We applied the process scales to a nationally sultation with experts to develop a set of
representative sample of 14 012 patients hospitalized before and after the process measures for which better pro¬
implementation of the diagnosis related group\p=m-\basedprospective payment cess was likely to make a difference in
system. For the four medical diseases, a better process of care resulted in lower patient outcome. These measures were
mortality rates 30 days after admission. Patients in the upper quartile of process then presented to disease-specific pan¬
scores had a 30-day mortality rate 5% lower than that of patients in the lower
els consisting of five to 12 physicians,
who were selected by our collaborators,
quartile. The process of care improved after the introduction of the prospective the professional review organizations.
payment system; eg, better nursing care after the introduction of the prospective Each panel reviewed the suggested cri¬
payment system was associated with an expected decrease in 30-day mortality teria to decide whether they believed
rates in pneumonia patients of 0.8 percentage points, and better physician that data to assess these criteria were
cognitive performance was associated with an expected decrease in 30-day reliably recorded in the medical record
mortality rates of 0.4 percentage points. Overall, process improvements across and whether the criteria made clinical
all four medical conditions were associated with a 1 percentage point reduction in sense. Process criteria based on data
30-day mortality rates after the introduction of the prospective payment system. whose recording was likely to vary by
(JAMA. 1990;264:1969-1973) year, state, or hospital type were ex¬
cluded. We developed disease-specific
abstraction forms8"12 to collect data on
PROCESSES of care-what we do to ment advantages over studying out¬ approximately 100 process criteria for
patients—have been considered an es¬ comes, because not all patients who ex¬ each disease.
sential component of quality of care perience a poor process of care suffer a
measurement for over 50 years.1'6 Even poor outcome. Scoring Process Criteria
if outcomes of care—what happens to The purpose of this article is twofold. In scoring process criteria, we first
patients—are the most meaningful First, we report on the development of a applied the criteria only to patients who
measures of quality to the patient, we set of validated process criteria for el¬ were likely to benefit from their use.
will be unable to develop clinical meth¬ derly patients admitted to the hospital Using this kind of conditional logic,
ods to improve outcomes unless we un¬ with one of five conditions. By validated many criteria were applicable to all pa¬
derstand how processes and outcomes we mean that process predicts outcome. tients, some to just a few. For example,
are related. Assessing quality of care by Second, we apply the validated process if a patient with congestive heart failure
process also provides some measure- criteria to patients treated before and was considered to be severely ill, then
after the implementation of the pro¬ the intensive care unit should be used.
From the Health Program of the RAND Corp, Santa
Monica, Calif (Drs Kahn, Rogers, Rubenstein, Sher-
spective payment system (PPS) to de¬ Second, we used clinical judgment to
wood, Keeler, Draper, and Brook and Ms Reinisch); the
termine whether the PPS has been asso¬ assign scores (points) to each process
Departments of Medicine (Drs Kahn, Rubenstein, Ko- ciated with changes in the processes of criterion based on how likely a patient
secoff, and Brook) and Health Services (Drs Kosecoff care. was to benefit from it. For example, use
and Brook), UCLA; and Value Health Sciences Inc,
Santa Monica (Dr Kosecoff).
of the intensive care unit for very sick
METHODS
The opinions, conclusions, and proposals in the text
are those of the authors alone and do not necessarily
patients was assigned seven points,
We based our analysis on the sample whereas use of the intensive care unit
represent the views of the RAND Corp or UCLA. described in more detail elsewhere in for moderately sick patients was as¬
Reprint requests to the RAND Corp, 1700 Main St, PO
Box 2138 Santa Monica, CA 90406-2138 (Dr Kahn). this series.7 signed three points. Third, the process
Criteria Disease Before PPS After PPS Before PPS After PPS
Physician Cognitive Scale
Within the initial 2 days of hospitalization the
physician should document each of the following
in the medical record as noted or not noted
Past surgery Congestive heart failure 100 66f
Lung examination day 2on Congestive heart failure 58 711
Alcoholism or smoking habits Acute myocardial Infarction 100 100 61 64
Jugular veins Acute myocardial infarction 100 100 61 68t
Tobacco use or nonuse Pneumonia 100 100 52t
Lower-extremity edema Pneumonia 75t
Previous cerebrovascular accident Cerebrovascular accident 100 100 48 53t
Gag reflex Cerebrovascular accident 100 100 35 38
Mental status Hip fracture 70
Pedal or leg pulse Hip fracture 100 100 62 67t
Nurse Cognitive Scale
On day 2 of the hospitalization at least three blood
pressure readings should be noted
>3 blood pressure readings noted Congestive heart failure 100 100 78 84t
>3 blood pressure readings noted Pneumonia 100 100 69 79t
>3 blood pressure readings noted Cerebrovascular accident 100 100 79 86t
Technical Diagnostic Scale
Within the initial 2 days of hospitalization an electro¬
cardiogram should be obtained
Electrocardiogram obtained Congestive heart failure 100 100 87 91t
Electrocardiogram obtained Cerebrovascular accident 86t
Electrocardiogram obtained Hip fracture 100 100 90 93t
Within the initial 2 days of hospitalization a serum
potassium determination should be performed
Serum potassium level determined Congestive heart failure 100 100 93 97t
Serum potassium level determined Cerebrovascular accident 100 88 94t
Serum potassium level determined Hip fracture 100 100 89 94t
Technical Therapeutic Scale
po,<60 mm Hg, use oxygen therapy or intubate
If
Oxygen therapy or intubation done Congestive heart failure 16 20 87 93t
Oxygen therapy or intubation done Pneumonia 23 90t
Begin antibiotic therapy for patients with pneu¬
monia in a timely manner
Within 4 hours of admission for
nonimmunocompromised patients Pneumonia 91 88 28 32t
Within 2 hours of admission for
nonimmunocompromised patients Pneumonia 12
Monitoring With Intensive Care and Telemetry Scale
For patients who are moderately sickt use the
intensive care unit; telemetry Is not sufficient but
is preferable to no cardiac monitoring
Used Intensive care unit on day 1 Congestive heart failure 16 16 43 46
Used telemetry on day 1 Congestive heart failure 16 16 24t
Used intensive care unit on day 2 Congestive heart failure 49
Used telemetry on day 2 Congestive heart failure 31t
Used intensive care unit on day 1 Pneumonia
Used telemetry on day 1 Pneumonia 17 19 10t
Used intensive care unit on day 2 Pneumonia
Used telemetry on day 2 Pneumonia 12t
For patients who are very sickt use the Intensive
care unit; telemetry Is not sufficient but is
preferable to no cardiac monitoring
Used intensive care unit on day 1 Congestive heart failure 71
Used telemetry on day 1 Congestive heart failure
Used intensive care unit on day 2 Pneumonia
Used telemetry on day 2 Pneumonia
scores accounted for the use of different Process Scales them with those suggested by a Likert
interventions. Very sick patients re¬ scaling model.13 Use of these methods
ceived seven of seven points for use of Using clinical judgment we grouped yielded five process subscales and one
the intensive care unit, three of seven process criteria according to what con¬ overall process scale: physician cogni¬
points for use of telemetry, and no cept we thought they measured and tive, nurse cognitive, technical diagnos¬
points for no cardiac monitoring. then tested our groupings by comparing tic, technical therapeutic, monitoring
Table 3.—Relationships Between Mortality Rates 30 Days After Admission Adjusted for Sickness at Admission and Process Scales for Five Diseases
Mortality Rates 30 Days After Admission, Adjusted for
Sickness at Admission," by Process Scale Score Category, % *
Patients rank-ordered according to process scale scores. Patients with process scale scores In the
were highest 25% were considered to have experienced good process,
and those with the lowest 25% poor process.
scores in
tP<05 using logistic regression of mortality, adjusted for sickness at admission, on process
^Paradoxical P<05—a better process was associated with a worse outcome.
§The technical therapeutic scale was not measured for cerebrovascular accident.
experienced poor process (P=.0002). cognitive scales) and for process mea¬ ual items (Table 1). For example, 58% of
The relative risk of adjusted 30-day sures that were unlikely to be affected patients with congestive heart failure
death as process changed from good to by such potential biases (eg, the techni¬ had documentation of a day 2 lung ex¬
poor ranged from 1.74 for congestive cal diagnostic and technical therapeutic amination before the introduction of the
heart failure to 1.26 for acute myocardi¬ scales). PPS compared with 71% after the intro¬
al infarction (P<.05, Table 2). We were We used the previously demonstrat¬ duction of the PPS. Nurses documented
unable to demonstrate a process-out¬ ed process-outcome link to translate the at least three blood pressure readings
come link for patients with hip frac¬ better process of care after the intro¬ on day 2 for 78% of patients with conges¬
tures, partly because 5% of patients duction of the PPS into mortality reduc¬ tive heart failure before the introduc¬
with hip fractures died, and this low tions. For example, for patients with tion of the PPS compared with 84% after
death rate limited our power to detect a congestive heart failure, the improve¬ the introduction of the PPS. The use of
process-outcome relationship. ment in the process of care of 0.31 SD on oxygen (or intubation) on day 1 for hyp-
In addition, a significant process-out¬ the physician cognitive process scale oxic patients (ie, p02 <60 mm Hg) im¬
come relationship existed for four of the was associated with an expected 0.5 proved from 87% before the introduc¬
five process subscales for congestive percentage point reduction in the 30- tion of the PPS to 93% after the
heart failure, acute myocardial infarc¬ day postadmission mortality rate and an introduction of the PPS.
tion, and pneumonia and for three of the expected 0.7 percentage point reduc¬ COMMENT
four process subscales for cerebrovas¬ tion in the 180-day postadmission mor¬
cular accidents (Table 3). We found a tality rate. Similar improvements in We have demonstrated the validity of
clinically sensible process-outcome link process on the nurse cognitive scale our process scales by establishing pro¬
for the monitoring with intensive care were associated with expected de¬ cess-outcome links. If our process
and/or telemetry subscale only for pa¬ creases in mortality of 0.8 and 0.6 per¬ scores only reflected recording rather
tients with acute myocardial infarction; centage points at 30 and 180 days, re¬ than what happened to patients, we
we defined the need for such monitoring spectively. Except for hip fracture, the would have been unable to find a statis¬
more precisely for acute myocardial in¬ improvements in the overall process tically significant relationship between
farction than we did for the other scale after the introduction of the PPS better processes of care and lower mor¬
diseases. were associated with an expected re¬ tality. In addition, if we were measuring
duction of 0.1 to 1.4 percentage points in only improvements in recording after
Process of Care Before and After the 30-day mortality rate and an expect¬ the introduction of the PPS vs before
Introduction of the PPS ed reduction of 0.4 to 1.6 percentage the PPS, we would have found improve¬
For each process scale, for all five points in the 180-day mortality rate. Ag¬ ments in process after the introduction
diseases, we found better process of gregating across our four medical dis¬ of the PPS only for those process mea¬
care after the introduction of the PPS eases, process improvements after the sures that depend heavily on recording
(Table 4). In all instances the improve¬ introduction of the PPS were associated (eg, physician and nurse process). How¬
ment was significant (P<.05), except with a 1.0 percentage point reduction in ever, we have demonstrated a signifi¬
for monitoring with intensive care and/ the expected 30-day mortality rate (95% cant process-outcome relationship con¬
or telemetry, for which the process confidence limits, 0.6 to 1.4 percentage sistently acrossdiseases and across
changed significantly (P<.05) only for points). Given that the observed raw 30- types (ie, recording-sensitive and -in¬
congestive heart failure and hip frac¬ day mortality rate for our four medical sensitive) of process measures. We
ture. The improvements in process af¬ diseases was 18.7%, the 1.0 percentage found the process of care to be better
ter the introduction of the PPS were point change represents a 5.3% decline after the introduction of the PPS.
apparent both for process measures in expected mortality associated with The lack of a consistent process-out¬
that could have been influenced by the improvements in process. come relationship for scales based on
changes in documentation in the medi¬ The improvements in process scale intensive care and telemetry monitor¬
cal record (eg, the physician and nurse scores paralleled those found in individ- ing was disappointing. We believe the